Process Inventory - Homes and Community Renewal...Supervision Subprocess. 12' First Construction...

BAM Process Inventory Page 1 of 36 Date: 01/04/2020

Business Applications Modernization Project

Process Inventory January 21, 2020

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APPENDIX III

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Process Taxonomy and Index

# End to End Process Acronym Functional Lead(s) System Page(s)

01. Apply to Award (Single Family Grants at AHC) ATA Both 3

02. Bid to Build (Multifamily Finance at HFA) BTB Both 4-5

03. Conversion to Closeout (Multifamily Asset Mgmt. @ HFA) CTC Both 6-7

# Functional Area Acronym Functional Lead(s) System Page(s)

04. Hire to Retire (Human Resources Functions) & Travel HTR SAP 8-10

05. Cash to Invest (Treasury Functions) CTI

SAP

11-17

06. Offer to Cash Debt (Debt Issuance & Bond Functions) OTCD 18-20

07. Offer to Cash Loans (Issuing Loans) OTCL SAP 21

08. Procure to Pay (Direct Purchasing & Contracting Functions)

PTP SAP 22-29

09. Plan to Report (Budgeting, A/P, A/R, & other Functions) PTR SAP 30-36


PAGE INTENTIONALLY LEFT BLANK

PLACEHOLDER for APPLY TO AWARD


02.00 Bid-to-Build Process at HFA

(2) Underwriting Phase (3) Mortgage Closing Phase (5) Construction Phase(1) Application Phase (4) Bond Closing Phase

SONYMA-only Project Setup

05'

Bo

rro

wer

OF&

D,

Un

der

wri

tin

gO

F&D

, L

oa

n S

vcin

gO

F&D

, C

on

st. &

ES

OTCL-ERP-INB-0003

Construction Loan Disbursement /

Construction Requisition or Draw

Process

12

OTCL-ERP-INB-0031 [see CR 166]

Construction Supervision Subprocess

12'

First Construction Requisition or Draw

Process

Final Requisition or Draw and Closeout

Process

OTCL-ERP-OUT-0042Sends LOC from SAP to ProLinkHFA

Credit Committee Review Process /

HFA Board Review Process / TEFRA

Notice / PACB Appr.

Application Submission Process

(Smartdocs via Procorem Work

Center)

02

Funding Allocation Process

(FIN code for bonds)

01

Underwriting Process / Due

Diligence

03

Mortgage ClosingProcess

(Underwriter and Legal)

0804

To page 2.

OTCL-ERP-INB-0002Creates profit ctr and

internal order and portfolio in SAP

OTCL-ERP-INB-0020Creates business partner

in SAP

OP

S,A

cco

un

tin

g/Tr

easu

ry

Bond Structuring Process (external) Subp: Caine-Mitter amort./cash flows [Pre Official Stmt]

OF&

D,

De

bt

Issu

an

ce

06

Setup Process for HCR financial instruments

(enter initial terms for cash flows)

05

Bond Pricing Process

(enter final terms for closing)

[Official Statement]

07

Assign applications

11

13SAP

Deal Types:1. Bond funded

• Recycled bonds

• Refinancings2. Back-to-Back/Private Placement3. Subsidy loan

• Resubordinated4. Tax credit only deal (Special Projects)5. External lender, MIF

Project Signoff - pencils down

Bond Funding Process

10

First Construction Requisition Memo

Adding Portfolio Property in

ProLinkHFA triggers:

Contract Reporting

Process[EO&PD]

x

Version: 12/17/2019

Cost of Issuance Billing Process

09'

Bond Closing Process

09

ProLink

SAP

INB-0020 will not create third-party business partner

like OMH or HUD!

Environmental Services Unit

Environmental Review (SEQRA)

4'

Key

White = SAP process

Blue = ProLinkHFA

process

Yellow = unconfirmed

process

Orange = problemWhite = note

SystemName

Set up bond process

07'


02.00 Bid-to-Build Process at HFA

(6) Conversion from Construction to Permanent Financing

Bo

rro

wer

OF&

D,

Un

de

rwri

tin

gO

F&D

, L

oan

Svc

ing

OH

P,

Ho

usi

ng

Po

rt.

Mgm

t

OPS

,A

cco

un

tin

g/Tr

easu

ry

OF&

D,

De

bt

Issu

an

ce

IRS Form 8609 / 8610 Issuance

Process

Building Registration Process for Building

Identification Number (BIN)

IRS Form 8609(to claim tax credit)

To page 1.

Conversion from Construction to

Permanent Financing

Collect final sources and uses

conversion. (Use case: collect unspent subsidy, e.g.)

Data conversion and migration for BINs stored in

XLSX

14

16 17

To conversion

-to-closeout

US Internal Revenue Service (IRS)

IRS Form 8610(to notify IRS of tax

credit claimant)

Key

White = SAP process

Blue = ProLinkHFA

process


process

Orange = problemWhite = note

SystemName

Escrow Accounts Creation Process / Confirm LOC

Amounts Received by Bank and Enter

Extra Data

8'

Affirmative Fair Marketing Plan

FEHOPrepare & Send Marketing Plan Questionnaire?

15


03.00 Conversion to Closeout at HFAO

ffic

e o

f Fin

ance

& D

evel

opm

ent,

M

ulti

fam

ily [G

rou

p]Lo

an S

ervi

cin

g U

nit

[U

nit

]

Off

ice

of H

ous

ing

Pres

erva

tio

n [G

roup

]St

atew

ide

Ass

et M

anag

emen

t U

nit

(AM

U) [

Uni

t]

Off

ice

of F

inan

ce &

Dev

elo

pmen

t,

Mul

tifa

mily

[Gro

up]

Spec

ial P

roje

cts

Un

it [U

nit]

Ongoing and Monitoring PhaseConstruction to Permanent Financing Conversion Phase Project Onboarding Phase

Key

Collaborate with Special project & AMU to finalize conversion to

permanent

Notify AMU construction

building report

B2B14.1

Jan – March

8610 IRS form Submission

For 8609 projects

Utility Allowance Review

(due April 1)

Initial Review and project

onboarding (marketing plan)

Project F&D Financial Closing

(Bonds)

Approval of IRS 8609 Issuance

2

1

3

B2B14.2

AMU starts process at 75% construction completion

Monthly Rental Occupancy Unit

Rpt.

Monthly Operating Rpts

Receiving Tenant Complaint

(continuous thru year)

FEHO Qtrly rpt. (4th Qtr. Due)

Federal income limits notification

Annual Income Qualifying Unit Rpting process

Monitoring Watch list for

high to moderate risk projects

Other:Budget Review

April to June

Reviewing Annual Audited financial

statements process

Monitoring Watch list for

high to moderate risk projects

Owner 1stQtr. FEHO submission due

White = SAP process

Blue = ProLinkHFA

process


process

Orange = Othe r HCR

partner

SystemName

To page 2

Grey=Manual processes

Project setup for 8609

B2B17

11

45

67

8 9

10

10

Process may take 3-4 years to be

approved9A

Only from NYC 5 boroughs projects

initiated project owner/mgmt agent



6

Due Dilliengce


03.00 Conversion to Closeout at HFA

Off

ice

of H

ous

ing

Pres

erva

tio

n [G

roup

]St

atew

ide

Ass

et M

anag

emen

t U

nit

(AM

U)

[Uni

t]

Ad-hoc (or one-time) ProcessesOngoing and Monitoring Phase Ongoing Phase

Disbursing Reserve for

Replacement funds

Tax & Insurance Review

Continuing Disclosure

requirements for bond financed projects

Submitting Sonyma Ins.

Claim

Issuing IRS 8823 issuance (Non-

compliance with LIHTC)

Commercial Lease-SNDA

Project Mortgage

Payoffs Meetings

Due diligence pre-review for New Management

enty

Qualified Contract Sales

(QCS)

July to September

HCR HUD compliance Submission

Calculating project Risk Using Analysis Checklist

Reporting Tenant Demographics to

Federal Govt. HUD Rpt. (due 9/

30)

SONYMA and Moody s and Fitch process

Monitoring watch list for high to moderate risk

projects

Owner 2nd Qtr. FEHO submission due for projects

subject to compliance

October to December

-Owner Submit Utility

Allowance

Owner s annual certification

process

Owner 3rdQtr. FEHO due

-Field visit log

To page 1







Monitoring watch list for high to moderate risk

projects

12 13

10 14

15

6

10

XX XX

6

16

17

20

21

6

Accounting provides: balances Future balances in

SAP

Changing project

Ownership process

Changing the Managing Agent

process

18 19

Key

White = SAP process

Blue = ProLinkHFA

process

Orange = Othe r HCR

partner

SystemName


process

Grey=Manual processes


Hire-to-Retire (HTR) Processes

Process Flow Name Description

HTR-FLOW-001 HR Position Requisition & Employee Hiring

Process to create positions and process personnel actions (i.e. hiring, retiring, termination)

HTR – Travel Reimbursement Disbursement process to reimburse agency employees for travel




Cash-to-Invest (CTI) Processes


CTI-01-01 Treasury Master Data Maintenance – Investments

Process to create or maintain a Treasury Partner (Issuer, Counterparty, Custodian)

CTI-02-01 Investment Transactions Processing

Process to record investment purchases & sales

CTI-02-02 Accounting for Bonds and Investments including Period End

Process to record for financial documents for debts and investments including period end processing

CTI-02-03 Market Data Investment and Debt Process to update Market Data for Investments for Debts

CTI-02-04 Bank Statement and Reconciliation Process

Process to reconcile bank statements

CTI-02-05 Treasury Payments – Bank to Bank Transfer

Disbursement process for Bank to Bank Transfer (not part of requisition process)

CTI-02-06 Cash Management Process to determine the net cash available for investment / forecast


CTI-01-01 Treasury Master Data Maintenance - InvestmentsO

utp

uts

Cen

tra

l F

ina

ncia

l M

aste

r D

ata

Ad

min

istr

ato

rIn

pu

tsIn

ve

stm

en

t M

aste

r D

ata

Ad

min

istr

ato

r

Tre

asu

ry -

Inve

stm

en

t

Au

tho

rize

rProcess to create or maintain a Treasury Partner (Issuer, Counterparty, Custodian)

(3)Business Partner

Create/ Edit

BP

(1)Need to create a new TR Business Partner

(13)End

(6)Extend to TR Roles, Company Codes and enter authorization for

Product Types

BP

(2)E-Mail Request to

create TR Business Partner

Verified that the record does not exist in SAP

(4)Does Partner Back Exist in

SAP?

(5)Enter / Edit Banking

information

FI01 / FI02

No

Yes

(7)Counterparty role?

(8)Update Dealer Rotation

ZDLR_ROTTN

Yes

(9)Issuer role?

(10)Update Legal Data

BP

No

Yes

(11)Custodian role?

No

(12)Maintain Securities

Account (As needed)

TRS_SEC_ACC

Yes

No

Version: 2019-12-12


CTI-02-01 Investments - Transaction Processing – All Investment InstrumentsIn

pu

tsIn

ve

stm

en

t M

an

ag

er

Inve

stm

en

t A

uth

orize

rO

utp

uts

Inve

stm

en

t M

aste

r

Data

Ad

min

istr

ato

r

Tre

asu

ry

Au

tho

rize

d

Sig

na

tory

Process to record Investment purchases & sales

(12)SettleTrade

FTR_EDIT

(1)

New Investment Trade

(3)Create Security

Class

FWZZ

(14)

End

(5)Create Security

Account

TRS_SEC_ACC

(8)

Validate Trade

ZTRADE

(2)Existing

Security?Yes

No

(4)

New Project?

No

Yes

(7)

Create & Save

Pre-Trade

ZTRADE

(6)BankAccount

s Require

Funding?

No

BAM-DLI-M-2g-ii

(Bank to Bank Transfer)

(9)

Create Trade

ZTRADE

(13)

Review Dealer Log

ZDEALLOG_RPT

BAM-DLI-M-2d

(Investment Accounting)

I

Automated Validation to ZTFFM_CASHBAL

Table

(10)Optional:

Generate Settlement Letter to

review Trade

ZFTR_FRM_INVESTMENT

(11)Generate Settlement Letter with

E-signature and mail / e-mail /

fax to Trustee

ZFTR_FRM_INVESTMENT

Version: 2019-12-12


CTI-02-02 Accounting for Bonds and Investments including period endIn

pu

tsT

rea

su

ry A

cco

un

tin

gO

utp

uts

Tre

asu

ry R

ep

ort

ing

Process to record for financial documents for debts and investments including period end processing

(1)Settled Financial Debt / Investment

Instrument

(2)Post Financial

Instrument Accounting Documents

TBB1

(5) Post Debit Position

(Interest)

FWSO / FWZE

(7) Reverse Debit

Position

TPM_POSTAUTREV /

FWZOE

(3) Posting Correct?

(6)Is Interest accurate?

(4)Reverse Financial

Instrument Accounting Documents

TPM10

No

No

Yes

(20)Report Flows

TPM13

(21)Posting Report

TPM20

(19)Alert Monitor

FTR_ALERT

(22)Payment Report

TPM20A

(9)End

Yes

(10)Period End Process for Debt / Investment

(11)Post Valuation

TPM1

(14)Post Accrual

TPM44

(12) Posting Correct?

(15)Accrual entry

accurate?

(13)Reverse Valuation

TPM2

No

(16)Reverse Accrual

TPM45

No

Yes

(17) Re-class debt from

LT to ST

ZFTR_RECLASS

(8) Post Derived

Transactions (Gain or loss)

FWSO / FWZE

(18)Position List

TPM12

FromBAM-DLI-M-2f

Version: 2019-12-12


CTI-02-03 Market Data - Investments and DebtsIn

pu

tsO

utp

uts

Ma

rket

Da

ta S

pe

cia

list

Ba

tch

Jo

bs

Process to update Market Data for Investments and Debts

(9)End

(1)Updates to Reference

Interest Rate for Variable Rate Instruments

(2)Upload /Update

Reference Interest Rate

TBDM / JBIRM

(4)Automatic Interest Rate

Adjustment for MM Variable Rate Financial

Instrument

TJ05

(5)Automatic Cash Flow Updates for

Securities Variable Rate Financial

Instruments

FWUP

(3)Variable Rate

Money Market or Securities?

Money Market

Secu

rities

(6)Updates to Security

Prices

(7)Update Security Closing Price (Direct Price not

Broker Price)

FW17

To BAM-DLI-M-2d

Bonds & Investments Period

End

Version: 2019-12-12


CTI-02-04 Bank Statement and Reconciliation ProcessIn

pu

tsC

as

h R

ec

on

cil

iati

on

Sp

ec

ialis

tO

utp

uts

Batc

h J

ob

–

SA

P-E

CC

SA

P P

I

Process to reconcile bank statements

(7)Import bank

statements and auto-clear where possible

ZBANK_PRE_PROCESSING

(2)Sweep encrypted Prior Day EBS file

from Bank(s)

(3)Decryption and re-naming of the file for processing

in SAP

(4)Move the file to

designated directory

(1)Encrypted Prior Day

Electronic Bank Statement (EBS) file in

Bank Directory

Yes

(5)Is file import successful?

End

No

(18)Monitor Bank

Statement Import

FTE_BSM

(19)Contact SAP

Support Team for follow up

If in error folder and configuration updated

(6)Create an error file to import into SAP

subsequently

(9) Are Bank Clearing

Accounts auto matched

accurately?

(13)Investigate open items daily and

review

(8)Print/Display bank

statement as needed

FEBAN

(11)Filter the unclear

items

FAGLL03

(14)Perform manual

matching

F-03

(10)Reset individual cleared items if

necessary

FBRA

(15)Auto-clearing

possible?

(16)Run Auto

Clearing Program

F.13

Yes

No

Yes

End

(20)Manually Import bank statement from error

folder

FF.5

No

Check Bank Statements Not Imported

Version: 2019-12-12


CTI-02-05 Treasury Payments – Bank to bank transferIn

pu

tsP

aym

en

t A

pp

rove

rO

utp

uts

Cash

Pro

ce

ssor

Disbursement process for Bank to Bank Transfer (not part of requisition process)

F111

(11)Execute Payment

Run

(14)End

(13)ACH (if Key Bank or JPMC) – Payment Media is sent to

Bank

(7)Request Payment

Approver to Approve Payment

RequestFRFT_B

(6)Create Payment Request (using

repetitive codes)

(5)Payment Request

Processing for Bank to bank trasnfer

FRFT_B (Release)

(8)Approve Payment

Request

(10)Request Payment

Approver to Execute Payment

Run

(2)Create/ Update

Repetitive Code with Status Not Released

OT81

(4)Release Repetitive

Code

OT81

(1)New Repetitive Code

for Bank to Bank Transfer

(3)Repetitive

Code Valid / Complete?

Yes

No

F111

(9)Create Payment

Proposal

ZFTR_DIR_LTR_TRUSTEE

(12)Print direction letter to

trustee for Wire or Book Transfer

Version: 2019-12-12


Order-to-Cash Debt (OTCD) Processes


OTCD-01-01 Debt Master Data Process to create or maintain a Treasury Debt Master Records

OTCD-02-01 Debt Processing Issuance Redemptions Servicing

Process to record debt issuance through bonds, redemptions (exercising calls or unplanned buy back) and Servicing


BAM-DLI-M-1a Treasury Master Data Maintenance - DebtO

utp

uts

Inp

uts

Deb

t M

aste

r D

ata

Adm

inis

trato

r Process to create or maintain a Treasury Debt Master Records

(3)Business Partner

Create/ Edit

BP

(1)Need to create a new TR Business Partner

(21)End

(4)Extend to TR Roles, Company Codes and enter authorization for Product Types

BP

(2)E-Mail Request to

create TR Business Partner

Verified that the record does not exist in SAP (5)

Need to record new Bond Series

(6)Create / Upload Security Account

TRS_SEC_ACC

(7) Variable or Fixed

Debt?

(8)Define Reference

Interest Rate

OBAC

(9)Bond Level 1, 2 and 3 Security Upload

ZFTR_FWZZ

(10)Bond Level 3

Security Condition Upload

ZFTR_FWZZ_CH

(11)Bond Security and

Custom Fields Updates (for all levels

as needed)

FWZZ

Variable

Fixed

(12)Maintain Treasury

Reporting Master Data Attributes

(13)Agency

ZFTR_AGENCY

(14)Credit Type

ZFTR_CREDITTYP

(15)Fund Type

ZFTR_FTYP

(16)Insurance Detail

ZFTR_INS

(17)Program

ZFTR_PROG

(18)Project

ZFTR_PROJ

(19)Rating Agency/

Ratings

ZFTR_R_AGENCY

(20)County Code

ZZTFTR_COUNTY


BAM-DLI-M-2a Debt Processing – Bonds Issuance, Redemption (planned and unplanned), ServicingIn

pu

tsD

eb

t S

pe

cia

list

Deb

t M

an

ag

er

Ou

tpu

tsT

rea

su

ry R

ep

ort

ing

Process to record debt issuance through bonds, redemptions (exercising calls or unplanned buy back) and Servicing

(4)Create Debt (Fixed or Variable) Instrument using excel upload

utility

ZFTR_BONDS

(9)Cash and interest flows accurate?

(7)Settle Financial

Instrument

FTR_00 / FTR_EDIT

(1)New Debt Issue

(18)End

(8)Review Position /

Cash Flows

TPM40 / TPM13

Yes

(2)Mirror or Non-Mirror Bonds?

Non Mirror

Mirror

(3)Create Mirror Debt and Loan Financial

Instrument simultaneously

ZVBOND01

A

A

(5)On Request to Approve Debt

Instrument Review Cash and Position

Flows

(6)Cash and interest flows accurate?

Yes

(11)To

BAM-DLI-M-1aManage Debt Master Data

No

No

(12)Process Redemption

(Not part of the current debt cash flow)

(13)Upload Bond

Redemptions using excel upload utility

ZFTR_BOND_REDMT

A(10)

New Bond Issue or Redemption?

New Bond Issue

Redem

ptio

n

(14)Bond Servicing letter to

trustees

(14)Print Bond

Redemption Notice Letter

ZFTR_RDMPTN_LTR

(15)Print Fund Transfer

Letter to Trustee

ZFTR_FUND_TRANSF

(16)Print No Bond

Proceeds & Non Investments Letter

ZFTR_NO_BND_INVST

(17)Letter generated

that can be edited, signed and sent


Order-to-Cash Loans (OTCL) Processes



Procure-to-Pay (PTP) Process Flows


PTP-FLOW-001 Commodity Procurement Process to include those steps relevant for procuring commodity-based requirements

PTP-FLOW-002 Value Based Service Procurement

Process to include those steps relevant for procuring those service requirements that are value based

PTP-FLOW-003 Shopping Cart WF Approvals Process steps showing Shopping Cart Workflow Approvals

PTP-FLOW-004 Purchase Order WF Approvals

Process steps showing Purchase Order Workflow Approvals

PTP-FLOW-005 Invoice Receipt Process Process steps showing invoice Processing for Purchase Orders

PTP-FLOW-006 PO Closeout Process Process steps for Purchase Order Closeout

PTP-FLOW-007 Contract Closeout Process Process steps for Contract Closeout


Acco

un

ts

Pa

yab

leR

eq

uis

itio

ne

rP

rocu

rem

en

t

Sp

ecia

list

SA

P

Au

tom

ate

d /

Inte

gra

tio

n

Pro

ce

sse

s

Ap

pro

va

lsIn

pu

tsPTP-FLOW-001 Commodity Procurement Process

Requisitioner

(01)Create / Change Shopping Cart

(04)Order Shopping

Cart

Requisitioner

(04a)

Automatic

Budget Check

FM AVC

(04b) Budget Error?

Yes

(02)Add Product

Category (UNSPSC)

Requisitioner

B

(04c)Budget Transfer

Required?

(02a)

Default GL /

Manual GL

Entry

UNSPSC/GL Mapping

(10)

Shopping

Cart -

SOCOCarry Out Sourcing

(07)

Shopping Cart

Awaiting

Approval

Approver

No

B(08) & (13)

Approval Process

Approver

Approve?

Yes

Yes(06)

FM – Add Budget

FMBB

PTP-PUR-001bShopping Cart

Process – Internal Order

PTP-PUR-001cMulti Account

Assignment Process

PTP-PUR-002Shopping Cart -

Services

PTP-PUR-003Shopping Cart –

Commodity


Staples

PTP-PUR-005Create Shopping

Standard Contract Assigned

Yes - SC

C

C(11)

Contract Exist?

(11a)Create / Change Contract Release

Order (ECRO)Carry Out Sourcing

Yes

(11b)Create / Change Purchase Order

(ECPO)Carry Out Sourcing

No

(12)Order Purchase Order – Awaiting

ApprovalCarry Out Sourcing

(18)Post Goods

Receipt

Goods Receipt

(09)FM – SC Budget

Posting

FM Integration

(15)FM – PO Budget

Posting

FM Integration

Yes - PO

A

A

(14)PO – Ordered

Approver

E

E

(19)Process Invoice

Receipt(s)

Invoice Receipt

D

D

(20)Process

Payments

Process Payment

(21)Execute Closeout

Closeout Process

A(05)

Save Shopping Cart

Requisitioner

ANo / Reject SC

(16)PO Output

SRM Output Email

No / Reject PO

(17)SAP to ProLink

PO Interface

PTP-PUR-037Create Shopping w/

Option Lines

(03)Add Account Assignments

Requisitioner

(03a)

Manual vs.

Default Acct

Assgt

RBAD


Acco

un

ts

Pa

yab

leR

eq

uis

itio

ne

rP

rocu

rem

en

t

Sp

ecia

list

SA

P

Au

tom

ate

d /

Inte

gra

tio

n

Pro

ce

sse

s

Ap

pro

va

lsIn

pu

tsPTP-FLOW-002 Value Based Service Procurement Process

Requisitioner


(04)Order Shopping

Cart

Requisitioner

(04a)

Automatic

Budget Check

FM AVC

(04b) Budget Error?

Yes

(02)Add Product

Category (UNSPSC)

Requisitioner

B

(04c)Budget Transfer

Required?

(02a)

Default GL /

Manual GL

Entry

UNSPSC/GL Mapping

(10)

Shopping

Cart -

SOCOCarry Out Sourcing

(07)

Shopping Cart

Awaiting

Approval

Approver

No

B(08) & (13)

Approval Process

Approver

Approve?

Yes

Yes(06)

FM – Add Budget

FMBB

PTP-PUR-001bShopping Cart

Process – Internal Order

PTP-PUR-001cMulti Account

Assignment Process


Services

PTP-PUR-003Shopping Cart –

Commodity


Staples

PTP-PUR-005Create Shopping

Standard Contract Assigned

Yes - SC

C

C(11)

Contract Exist?

(11a)Create / Change Contract Release

Order (ECRO)Carry Out Sourcing

Yes

(11b)Create / Change Purchase Order

(ECPO)Carry Out Sourcing

No

(12)Order Purchase Order – Awaiting

ApprovalCarry Out Sourcing

(18)Post Service Entry

Sheet

ML81N


Posting

FM Integration

(15)FM – PO Budget

Posting

FM Integration

Yes - PO

A

A

(14)PO – Ordered

Approver

E

E

(19)Process Invoice

Receipt(s)

Invoice Receipt

D

D

(20)Process

Payments

Process Payment

(21)Execute Closeout

Closeout Process

A(05)

Save Shopping Cart

Requisitioner

ANo / Reject SC

(16)PO Output

SRM Output Email

No / Reject PO

(17)SAP to ProLink

PO Interface


Requisitioner

(03a)

Manual vs.

Default Acct

Assgt

RBAD


Req

uis

itio

ne

rS

AP

SC

Wo

rkflo

w C

on

fig

ura

tio

n

SA

P A

uto

ma

ted

/

Inte

gra

tio

n

Pro

ce

sse

s

SR

M S

yste

m S

etu

p /

Cuto

ve

rPTP-FLOW-003 Shopping Cart Workflow Approvals

Requisitioner


(07)Order Shopping

Cart

Requisitioner

(05)Add Product

Category (UNSPSC)

Requisitioner

(08)

Shopping Cart

Awaiting

Approval

Approver

(09)Shopping Cart

Approval Process

SRM WF Conf ig

A


Requisitioner

(01)Update SRM Table TVARV

SM30

List of FACILITIES Product Categories /

UNSPSC

(02) Update SRM Custom Table

ZPR_APPROVERSM30

(10)1st Line

UNSPSC in TVARV?

(11) SRM Custom

Table ZPR_APPROVER

SM30

Yes

(12) SRM Org Structure

PPOMA_BBP

No

(13)Approve SC?

A

No


Posting

FM Integration

Yes

A

(03) SRM

Organizational Structure

PPOMA_BBP


Pro

cu

rem

en

t

Sp

ecia

list

SA

P P

O

Wo

rkflo

w C

on

figu

ratio

n

SA

P A

uto

ma

ted

/

Inte

gra

tio

n

Pro

ce

sse

s

SR

M S

yste

m S

etu

p /

Cuto

ve

rPTP-FLOW-004 Purchase Order Workflow Approvals

Proc Specialisst

(04)Create / Change Purchase Order

(07)Order Purchase

Order

Proc Specialist

(05)Product Category

(UNSPSC)

Proc Specialist

(08)

Purchase

Order Awaiting

Approval

Approver

(09)Purchase Order

Approval Process

SRM WF Conf ig

A

(06)Account

Assignments

Proc Specialist

(01)Update SRM Table TVARV

SM30

List of FACILITIES Product Categories /

UNSPSC

(02) Update SRM Custom Table

ZPR_APPROVERSM30

(10) SRM Custom

Table ZPR_APPROVER

SM30

(11)Approve PO?

A

No

(15)

FM – PO Budget Posting

FM Integration

A

(03) SRM

Organizational Structure

PPOMA_BBP

(12)2nd Approver?

Yes

(13) SRM Custom

Table ZPR_APPROVER

SM30

Yes(14)

Approve PO?

No

No

Yes


Req

uis

itio

ne

r /

Rece

ive

r

Acco

un

ts

Pa

yab

le

Sp

ecia

list

Pro

cu

rem

en

t

Sp

ecia

list

SA

P A

uto

ma

ted

/ I

nte

gra

tio

n

Pro

ce

sse

sIn

pu

tsPTP-FLOW-005 Invoice Receipt Process

(9) GR Qty Match

IR?Yes

(12)IR Price Match

PO?

(11)Change Purchase

Order

Change PO

(15)FI/CO/FM Posting

Financial Integration

A(6)

Process Invoice Receipt(s)

Invoice Receipt

(3)PTP-PUR-010

Process Goods Receipt

(4)PTP-PUR-018a

Return of Goods- Cancel Full Quantity

(5)PTP-PUR-018b

Return of Goods- Cancel Partial

Quantity

(1)PTP-PUR-006

Sourcing Cockpit Manual PO Creation

(2)PTP-PUR-007

Sourcing Cockpit Contract Release

Order

(7) GR Posted?

Yes

(14)Post Invoice

Receipt w/o Error

Invoice Receipt

Yes

(8)Post Goods

Receipt

MIGO

B

No

B

(10)Manual Step to Determine if GR

Needs to be Posted and/or PO Needs to be Changed

No

A

A

(13)IR Price Within LIV Tolerance

OR

Yes

(16)Manual Step to Determine if IR

Needs to be Changed and/or PO Price Needs to be Changed

No

Change PO Price

IPTR Payment

Processing

(18)Receive Revised Invoice From Vendor

(17)Is Revised

Invoice Required from Vendor?

Yes A

No


Req

uis

itio

ne

r /

Rece

ive

r

Pro

cu

rem

en

t

Sp

ecia

list

AP

Sp

ecia

list

SA

P A

uto

ma

ted

/ I

nte

gra

tio

n

Pro

ce

sse

sIn

pu

ts

PTP-FLOW-006 Purchase Order Closeout Process

(13) GR Required?

(20)Set Final Indicators BBP_CLOSE_PO

A(8)

Process PO Closeout

Automated Closeout

(3)PTP-PUR-010


(4)PTP-PUR-018a


(5)PTP-PUR-018b


Quantity

(1)PTP-PUR-006

Sourcing Cockpit Manual PO

Creation

(2)PTP-PUR-007


Order

(15) IR Required?

(16)Post Invoice

ReceiptInvoice Receipt

(14)Post Goods

Receipt MIGO

B

B

(12)Manual Step to Review Closeout

Log to determine why PO Not Closed

C

A

(10)All Validations

Met?

(6)PTP-PUR-013

Process Invoice Receipt

(7)PTP-PUR-xxx

Process Payment

(9)Closeout Program Validations:

- All PO Lines Complete - PO Validity Period, if applicable, is passed - No Open Terminations - PO Final GR for each line item - PO Final IR for eachline item - PO Payment is posted (clearing \ document exists) for each line item

Automated Closeout - /N/SAPPSSRM/CLOSE_AUT

(11)Purchase

Order Closed

Automated Closeout

Yes

Yes

(19) Final GR & IR

Posted?

CYes

(17) Payment Required?

DYes

ENo

E A

No

D(18)

Process Payment

Invoice Receipt

A A

No

No


Con

tra

ct

Sp

ecia

list

SA

P A

uto

ma

ted

/ I

nte

gra

tio

n

Pro

ce

sse

sIn

pu

tsPTP-FLOW-007 Contract Closeout Process

(19) Release Orders

Closed?

A(9)

Process Contract Closeout

Auto Closeout

(4)PTP-PUR-010


(5)PTP-PUR-018a


(6)PTP-PUR-018b


Quantity

(3)PTP-PUR-007


Order

(21) Contract

Validity Period End?

B

(18)Manual Step to Review Closeout Log

to determine why Contract Not Available for Closeout

(15)All Validations

Met?

(7)PTP-PUR-013

Process Invoice Receipt

(8)PTP-PUR-xxx

Process Payment

(13)

Recommended Closeout Program Validations:

- All PO Lines Complete

- PO Validity Period, if applicable, is passed

- PO s are closed at the header level (e.g., no

open terminations)

- PO Final GR and Final IR are posted

- PO Final Payment is posted

- Contract line item Target Quantity/Value is

exhausted

- Contract Validity Period is expired

- No terminations/claims are open on the

Contract

Recommended Closeout - /N/SAPPSSRM/CLOSE_REC

(16)Manually Close

Contract

Manual Closeout

Yes

No

CNo

(23) Contract Value

ExhaustedCNo

No

(2)PTP-PUR-010

Contract Change Processing

(1)PTP-PUR-036a

Create Contract Manually

(20)Process Purchase

Order Closeout

Auto Closeout

B(17)/(20))/(22)/(24)

Change/Update Contract

Rec. Closeout

C

(10)Closeout Program Validations:

- All PO Lines Complete - PO Validity Period, if applicable, is passed - No Open Terminations - PO Final GR for each line item - PO Final IR for eachline item - PO Payment is posted (clearing \ document exists) for each line item

Automated Closeout - /N/SAPPSSRM/CLOSE_AUT

(11)All Validations

Met?

Yes

(12)Process

Recommended Contract Closeout

Rec. Closeout

(14)PTP-FLOW-006

PO Closeout ProcessNo

No


Plan-to-Report (PTR) Process Flows


PTR-FLOW-001 Manage General Ledger Accounts

Process to create a General Ledger account

PTR-FLOW-002 Manage CO Objects Process to create CO objects

PTR-FLOW-003 Manage Business Partner Process to maintain Business Partners

PTR-FLOW-004 Process Accounts Payable Postings and Outgoing Payments

Process to create an Accounts Payable postings and outgoing payments

PTR-FLOW-005 Park or Post Journal Entry Process to park or post a journal entry

PTR-FLOW-006 Create or Post Recurring Document

Process to create or post recurring document


PTR-FLOW-001-Manage General Ledger AccountsFI

/FM

Mas

ter

Dat

a A

dm

inis

trat

or

Inp

uts

This process is to create a General Ledger Account.

(2) Gather Supporting Documentation to

Prepare a New General Ledger

Account

(1)From Business Operations -

Triggers A Need For A General Ledger

Account

(3)Balance Sheet or

Income Account?

(9)Cash or Non-Cash Account

Balance Sheet

(12)Manage G/L

Account Master Data

F0731

(10)Manage G/L

Account Master Data

F0731

Income Non-Cash

(4)Manage G/L

Account Master Data

F0731

(5)Auto. Creation of

Commitment Item

FMMDAUTO

(11)BAM Banking Data

Worksheet

(13)Crosswalk : Cash

Balance

ZFGL_CASHBAL

(14)Update Bank Configuration

SPRO

I-2

FM

Cash

I-1

TRM

(17)End

(6)Commitment Item 360 degree View

Commitment Item 360

(15)Update Financial

Statement Version (FSV)

FSE2

(16)G/L Accounts List

S_ALR_87012333

(8)Crosswalk: Maintain

Emphasys G/L Account

ZFFM_EMPH_GL

(7)Emphasys Relevant?

No

Yes


PTR-FLOW-002-Manage CO Objects (Cost Center & Internal Order)FI

/FM

Ma

ste

r D

ata

Ad

min

istr

ato

rIn

pu

tsThis process is to create CO Objects.

(2)Gather Supporting Documentation to Prepare a new CO

Object


Triggers A Need For A CO Object

(3)Cost Center or Internal Order?

(4)Can the new CC be assigned to

an existing Business Area?

Internal Order (IO)

(38)Auto. Creation of Funded Program

FMMDAUTO

(22)Can the new IO be assigned to

an existing Business Area?


an existing Profit Center?

(28)Is a new Segment required?

(29)Maintain Segment

SPRO

(23)Create Business

Area

SPRO

(30)Manage Profit

Centers

F0732

(31)Manage Internal

orders

F0021

(36)Crosswalk: FI Legacy

Fund

ZFFM_LEGACYFUND


Balance

ZFGL_CASHBAL

(39)Funded Program 360 degree View

Funded Program 360

(33)Is a new Fund

required?

(34)Create Fund Master

Data

FM5I

(35)Fund 360 degree

View

Fund 360

(32)Internal Orders:

Master Data Report

KOK5

No (40)End


an existing Functional Area?

I-2


an existing Functional Area?

(7)Create Functional Area Master Data

FM_FUNCTION

(8)Functional Area 360

degree View

Functional Area 360

(26)Functional Area 360

degree View

Functional Area 360

(25)Create Functional Area Master Data

FM_FUNCTION


an existing Profit Center?

Yes

No

Yes

(10)Is a new Segment required?

(11)Maintain Segment

SPRO

(12)Manage Profit

Centers

F0732

No

Yes

Yes

(13)Manage Cost

Centers

F0021

(18)Crosswalk: FI Legacy

Fund

ZFFM_LEGACYFUND


Balance

ZFGL_CASHBAL

(15)Is a new Fund

required?

(14)Cost Centers:

Master Data Report

KS13

(16)Create Fund Master

Data

FM5I

(17)Fund 360 degree

View

Fund 360

No

Yes

(20)Auto. Creation of

Funds Center

FMMDAUTO

I-1

(21)Funds Center 360

degree View

Funds Center 360

FMNo

Cost Center (CC)

No

Yes Yes No

NoYes

(5)Create Business

Area

SPRO

No

No

Yes

No

FM


PTR-FLOW-003-Manage Business PartnersA

P M

an

age

rIn

pu

tsG

L A

cc

ou

nta

nt

SR

M IT

Sp

ec

ialis

tA

cc

ou

nt

Ma

na

ge

r (C

ML

)This process is to maintain Business Partners.

(16)ProLink to SAP - Business Partner

Interface – OTCL-ERP-INB-0020


Triggers A Need for A New/Change

Employee Business Partner



Retiree with Benefits Business

Partner


Triggers A Need for A New/Change SRM

Business Partner



Escrow Business Partner

(17)Display Business Partner Master

BP

(8)Create & Change Business Partner

MasterBP Role: Business Partner Purchasing

BP

(9)Business Partner List

Report

S_ALR_87012086

(13)Create & Change Customer Master

BP Role: FI Customer

BP

(14)Customer List

Report

S_ALR_87012179


Report

S_ALR_87012086

(18)Display Customer

Master

BP

(10)SAP to ProLink - SRM Business

Partners Interface - PTP-ERP-OUT-0021

PFAL

(4)Create & Change Business Partner

MasterBP Role: Business

Partner FI

BP


Report

S_ALR_87012086


Triggers A Need for A New/Change Non-

SRM Business Partner

(6)End

(11)End

(15)End

(21)Is An Alternate

Payee Required?

(22)End

I-2CML business process flow

(20)Customer List

Report

S_ALR_87012179

Yes

No


Triggers A Need for TR Business Partner

I-1Treasury Master

Data Maintenance - Investments

TRM


PTR-FLOW-004-Process Accounts Payable Postings and Outgoing Payments In

pu

tsA

P S

pe

cia

lis

tW

arr

an

t

Ap

pro

ve

r 1

Wa

rra

nt

Ap

pro

ve

r 2

Ou

tpu

tsC

os

t C

en

ter

Ma

na

ge

r

Es

cro

w

Sp

ec

ialis

tA

P M

an

ag

er

This process is to create an accounts payable postings and outgoing payments.


Triggers A Need For A Direct Invoice (Non-

SRM)


Triggers A Need For An Escrow Invoice

(35)ProLink to SAP - Grant Disbursement Request Interface - OTCL-ERP-

INB-0032

(2)Create a direct

invoice as a park document

FV60

(5)Change parked

invoice document

FBV2

(30)Create or select an existing recurring invoice document

FBD1

(26)Direct or Recurring Invoice?

(27)Create a direct

invoice document

FB60

(31)Display recurring invoice document

FBD3

(28)Display direct

invoice document

FB03

(32)Post recurring

invoice document

F.14

Direct Recurring

(37)Display Posted

Invoice

FB03

(38)Vendor Line Item

Report

FBL1N


Display

FBL1N

(11)Automation

Payment Transactions

F110

(36)CML Disbursement

(12)Payment

Method – Check (C) or Wire (W)?

Check

(18)Vendor

Payments Warrant Form - PTP-ERP-FRM-

0018

(19)Hardcoded Signature

(24)Email Notification w/Attachments (Payment File &

Report) to Selected Recipient

(9)Automation

Payment Transactions –

Payment Method (C) & Supplement (ES)

F110

(10)Tax and Insurance

Escrow Form - PTR-ERP-FRM-0259

ZPTR_ESCRO W_PMT

B

(22)If Check is a

Grant related to BONY?

C

(39)End

(3)Vendor Invoice

Workflow - Direct Pay - PTP-ERP-WKF-

0009

F0545A

(4)Approve or

Reject Invoice?

(6)Display Posted

Invoice

FB03

Approve

(7)Vendor Line Item

Report

FBL1N

(14)Workflow to

approve warrants -PTP-ERP-WKF-0017

F0545A

(15)Approve or

Reject Invoice?AReject

(16)Workflow to

approve warrants -PTP-ERP-WKF-0017

F0545A

(17)Approve or

Reject Invoice?

(34)SRM Invoice Receipts

(MIRO)

Reject


Display

FBL1N

(8)Is the payment

related to Escrow?

NoYes

Approve

Reject

Approve

D

I-1

ZMPAY

OTC-L

(21)SAP Check

Number for Grants

Disbursement - PTR-ERP-OUT-

0241

(20)SAP to ProLink -

Payment Interface - PTP-ERP-OUT-0020

Yes

(23)New York State - Tax

and Finance - Vendor Payment - PTP-ERP-OUT-0002

ZFAP_KEYB ANK

(13)New York State - Tax

and Finance - Vendor Payment - PTP-ERP-OUT-0002

ZPTR_WIREWire

No


PTR-FLOW-005-Park or Post Journal EntryG

ener

al L

edge

r A

cco

unt

ant

Inp

uts

This process is to park or post a journal entry.


Triggers A Need For A Journal Entry

(2)Manual or Excel Upload Journal

Entry?

(15)Manage Journal

Entries

F0718

(13)Post general Journal

Entries

F0717

(5)Budget

exceeded?

(3)Park or Post

Journal Entry?

(4)Park G/L Document

FV50

(14)Budget

exceeded?

(6)Display Parked

Document

FBV3

(22)End

A-1Budget Adjustment

Manual Park

Post

No

No

Yes

Yes

(16)Is the Posted G/L

Document correct?

(7)Is the Parked G/L

Document correct?

(8)Changed Parked

Document

FBV2

No

Yes

Yes

No

(18)Upload Journal

Entry - ZFGL_ENH0001 -

ZFGL_ENH0001

Upload

(17)BW – Trial Balance

BI Launchpad

(19)Park or Post

Journal Entry?Post

Park

(9)Post Parked Document?

(10)Post Parked Document

FBV0

(11)Budget

exceeded?

(12)Display Posted

Document

FB03

Yes No

No

Yes

A-2Budget Adjusted

A-3Budget Adjusted

A-4

Budget Adjusted


ADP InterfaceERP-OUT-0011


Emphasys InterfaceERP-INB-0001


PTR-FLOW-006-Create or Post Recurring DocumentG

en

era

l Le

dg

er

Acc

ou

nta

nt

Inp

uts

Fin

an

cia

l A

na

lys

tThis process is to create or post recurring document.


Triggers A Need For A Recurring Document

(2)New Recurring

Document Required?

(3)Create Recurring

Document

FBD1

(4)Is Recurring Document correct?

(5)Display Recurring

Document

FBD3

(8)Change Recurring

Document

FBD2

(7)Change or Post

Existing Recurring Document

(9)Post Recurring

Document

F.14

(11)Budget

exceeded?

A-1Budget Adjustment

(12)Display Posted

Recurring Document

FB03

(10)Batch Input:

Session Overview

SM35

Yes

No No

Yes

Post

Yes

No

Change

(6)Post Recurring

Document?

Yes

(13)BW – Trial Balance

BI Launchpad

(14)End

No

A-2Budget Adjusted

Date post:	03-Aug-2020
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